At SEI we value our employees and believe in driving growth through change. Part of building brave futures is making a concerted effort to develop and challenge our employees to achieve their goals through internal job mobility.
The First Line Risk and Resilience team will perform an important role in the “first line of defence”, acting as risk champions and operating in conjunction with the UK Risk function and wider Enterprise Risk Management function. The team supports the monitoring, analysis and escalation of risks and risk events and will also implement additional service & management controls across the UK Private Banking unit.
This role is responsible for the preparation and monitoring of Risk and Control Self-Assessments (“RCSA”), key control testing and action remediation, monitoring of managerial control functions, the identification of operational risk trends, root cause analysis of operational risk events and other risk projects. This role will also play an important role in the implementation of a SEI Investments (Europe) Ltd (‘SIEL’) resilience framework and enhance existing operational resilience arrangements.
This role provides an excellent opportunity to collaborate across SIEL business units, SEI Group and other SEI entities and plays an important part in reducing the impact to our customers, company and market infrastructure should an operational disruption event occur.
What you will do:
Preparing and supporting the preparation, monitoring and reporting on the RCSA for teams in the UK Private Banking unit (including Operations, SWP and Technology) feeding the SIEL firm wide RCSA. Responsibilities include: Supporting the development, monitoring and maintenance of risk registers The development and analysis of key risk indicators Key control testing and assessment Monitoring and reporting of risk events that impact Operations Work closely with the business to identify risks Undertake and report on operational risk trend analysis Plan, report and track remediation plans/actions related to gaps in RCSA Challenge the framework to ensure it meets the changing and growing demands of the business to ensure it remains fit for purpose Preparation of, or supporting the preparation of, root cause analysis of operational risk events within the risk event reporting. Continually monitor process to ensure that controls are in place and are maintained at levels agreed with Management and Clients (where appropriate). Contribute to the development and implementation of SIEL’s Operational Resilience framework in line with The Bank of England, Financial Conduct Authority (‘FCA’) and Prudential Regulatory Authority (‘PRA’) requirements. Responsibilities include: Interpretation of regulatory expectations on Operational Resilience frameworks Identification of existing frameworks and policies that make up the Operational Resilience framework Identification and mapping of important business services and products to people, processes, technology, third parties, facilities and information Validating impact tolerances for important business services and testing of tolerances through severe but plausible scenarios Maintaining an internal and external communications plans for when important business services are disrupted Conduct operational resilience training and education for staff Continuously improve the operational resilience framework Ensure resilience risks and vulnerabilities are identified and reported, and working with wider business stakeholders to develop the necessary plans to address these risks (across Business and IT Continuity, Disaster Recovery, Technology, Cyber Security, Third Party Risk Management and Change Management). Support existing Business Continuity and Disaster Recovery arrangements including formulating annual schedules, conducting testing and coordinating updates to business impact assessments and continuity plans. Contribute and lead management information reporting with respects to operational risk events, resilience and operational processing. Participate in ad-hoc projects as required. All SIEL employees are responsible for the identification, assessment and control of risks and risk events. Employees will maintain a good understanding of applicable policies, procedures, risk appetites and tolerance relevant to their function and or business unit and are expected to consider current and potential risks when making or informing business decisions. Employees are responsible for the accurate and timely escalation and recording of incidents associated to relevant risks. What we need from you:
BA/BS degree in related field; or the equivalent in education and work experience Industry related experience Knowledge of the investment processing industry Proven ability to manage multiple agendas and achieve results Business writing skills Strong Excel and data analysis skills Excellent communication and presentation skills What we would like from you:
Ability to make strategic decisions using data and sound judgement Positive attitude and intellectual curiosity Organisational and analytical skills Customer service and client management experience Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection and fun. SEI is an Equal Opportunity Employer and so much more…
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Preparing and supporting the preparation, monitoring and reporting on the RCSA for teams in the UK Private Banking unit (including Operations, SWP and Technology) feeding the SIEL firm wide RCSA. Responsibilities include: Supporting the development, monitoring and maintenance of risk registers The development and analysis of key risk indicators Key control testing and assessment Monitoring and reporting of risk events that impact Operations Work closely with the business to identify risks Undertake and report on operational risk trend analysis Plan, report and track remediation plans/actions related to gaps in RCSA Challenge the framework to ensure it meets the changing and growing demands of the business to ensure it remains fit for purpose Preparation of, or supporting the preparation of, root cause analysis of operational risk events within the risk event reporting. Continually monitor process to ensure that controls are in place and are maintained at levels agreed with Management and Clients (where appropriate). Contribute to the development and implementation of SIEL’s Operational Resilience framework in line with The Bank of England, Financial Conduct Authority (‘FCA’) and Prudential Regulatory Authority (‘PRA’) requirements. Responsibilities include: Interpretation of regulatory expectations on Operational Resilience frameworks Identification of existing frameworks and policies that make up the Operational Resilience framework Identification and mapping of important business services and products to people, processes, technology, third parties, facilities and information Validating impact tolerances for important business services and testing of tolerances through severe but plausible scenarios Maintaining an internal and external communications plans for when important business services are disrupted Conduct operational resilience training and education for staff Continuously improve the operational resilience framework Ensure resilience risks and vulnerabilities are identified and reported, and working with wider business stakeholders to develop the necessary plans to address these risks (across Business and IT Continuity, Disaster Recovery, Technology, Cyber Security, Third Party Risk Management and Change Management). Support existing Business Continuity and Disaster Recovery arrangements including formulating annual schedules, conducting testing and coordinating updates to business impact assessments and continuity plans. Contribute and lead management information reporting with respects to operational risk events, resilience and operational processing. Participate in ad-hoc projects as required. All SIEL employees are responsible for the identification, assessment and control of risks and risk events. Employees will maintain a good understanding of applicable policies, procedures, risk appetites and tolerance relevant to their function and or business unit and are expected to consider current and potential risks when making or informing business decisions. Employees are responsible for the accurate and timely escalation and recording of incidents associated to relevant risks. What we need from you:
BA/BS degree in related field; or the equivalent in education and work experience Industry related experience Knowledge of the investment processing industry Proven ability to manage multiple agendas and achieve results Business writing skills Strong Excel and data analysis skills Excellent communication and presentation skills What we would like from you:
Ability to make strategic decisions using data and sound judgement Positive attitude and intellectual curiosity Organisational and analytical skills Customer service and client management experience Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection and fun. SEI is an Equal Opportunity Employer and so much more…
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